A client conversation starts in email, continues in chat and ends with a phone call. When questions arise about the exchange, compliance needs to understand how those pieces fit together and whether anything required is missing. Having records in an archive is a starting point. Explaining what happened, how the firm assessed the risk and why it acted requires context and a reliable trail of evidence.

Join Devendra Pagnis, Associate Vice President & Principal Advisor at QKS Group, and Paul Cottee, Director, SME Financial Markets Compliance at NICE Actimize, for a discussion on the evolution of Digital Communications Governance and Archiving (DCGA) and the shift from recordkeeping to compliance intelligence. Bringing perspectives from enterprise AI strategy and financial markets compliance, they’ll explore how AI can help teams interpret communications, prioritize risk and investigate more efficiently, and the governance needed to make those insights defensible. As AI assistants and agents become participants in business communications themselves, the discussion will examine what comes next for firms pursuing regulatory certainty: evidence that their controls are working, decisions can be explained and gaps are being addressed.

What you’ll learn:

• How DCGA supports regulatory certainty beyond retention: How to assess whether required communications reach the control environment and whether your firm can demonstrate what happened to them.
• How context improves risk assessment: Why connecting conversations across channels matters, and where AI can help reviewers distinguish meaningful risk from routine activity.
• What makes AI-assisted compliance defensible: The roles of source evidence, explainability and human oversight in supporting review and investigation decisions.
• How to prepare for AI-generated communications: The governance questions raised when assistants, copilots and agents help create the records your firm must retain and oversee.

Can’t join us live? Register to receive the recording.